Our Staff has compiled our research into a database of FINRA Broker Disclosures for B. Riley Wealth Management. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Galina Garkusha | 6967012 | 3 | 04/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Galina Garkusha | 6967012 | 3 | 04/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joel H Corniel | 5989327 | 2 | 03/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Lewis Simms | 7333531 | 1 | 07/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Boris Evgenevich Shabovta | 7210033 | 7 | 06/20/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Allen Tolbert | 728423 | 3 | 10/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James David Rollerson | 2289252 | 4 | 03/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Martin William Padilla | 2442136 | 11 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |